Conquering Current Compliance Challenges
July 10, 2019 | 2:00 - 2:30 PM EST
 
RECORDED WEBINARS

Conquering Current Compliance Challenges
Recorded: June 11, 2019 
 
Includes: Best Practices, Key Regulatory Issues and Compliance Tips
 
Includes: 23 Best Practices, 5 Peer-tested tools and 15 No Action Letters

Cybersecurity Strategies to Ensure SEC Compliance, 2nd Edition
Includes: 24 Best Practices, 16 Tools, 4 Risk Alerts and IM Guidance

 
INVESTMENT ADVISER NEWS & GUIDANCE
6/08/2018 | Content area: Investment Adviser
There’s no mistaking that failures to disclose conflicts of interest tied to compensation are a focus of both SEC examiners and Enforcement. New York-...
6/08/2018 | Content area: Investment Adviser
One view holds that the complex and costly Volcker rule must be changed to more easily permit hedging and market making. The second view fears looseni...
5/31/2018 | Content area: Investment Adviser
Bluestone Capital Management ($3.1B in AUM) in Wayne, Pa., reported in its latest Form ADV filing that its CCO gets paid by other sources. A closer lo...
5/31/2018 | Content area: Investment Adviser
Now that the Federal Reserve has approved a 373-page proposal to revise the Volcker rule, fellow regulators – including the SEC and the CFTC – are due...
5/31/2018 | Content area: Investment Adviser
With clear signs that the SEC will reverse itself on its mutual fund liquidity disclosure rule (IA Watch, May 24, 2018), predictions are also being ma...
5/31/2018 | Content area: Investment Adviser
What punishment would you mete out to staff who ignored your firm’s trading policies? A new SEC OIG report to Congress shows the Commission suspended...
5/31/2018 | Content area: Investment Adviser
You no doubt have been getting multiple e-mails from various parties touting their new privacy policies, detailing opt-in notices and calling out that...
5/31/2018 | Content area: Investment Adviser
Chief compliance officers can take heart in the recent words of new SEC Commissioner Hester Peirce. In remarks at the 50th annual Rocky Mountain Secur...
5/24/2018 | Content area: Investment Adviser
President Trump has sign S. 2155 into law. The bi-partisan financial reform legislation cleared Congress this week. It allows hedge and private equity...
5/24/2018 | Content area: Investment Adviser
A new study finds only 17% of respondents expressed that they were very satisfied “with the effectiveness of their compliance program.” Nearly half (4...
5/24/2018 | Content area: Investment Adviser
The SEC must have gotten something right with its three fiduciary duty proposals if it could both upset and please those who wish for a tougher best i...
5/24/2018 | Content area: Investment Adviser
Asked whether investment advisers should consider the SEC Enforcement Division’s offer to self-report share class allocation issues in exchange for no...
5/24/2018 | Content area: Investment Adviser
Fewer than two dozen comments came into the SEC after its March proposal to reverse direction on its liquidity risk management disclosure rule (IA Wat...
5/24/2018 | Content area: Investment Adviser
“Operation Cryptosweep” sounds like the latest Tom Cruise Mission Impossible summer blockbuster. In reality, it’s one of the largest coordinated serie...
5/17/2018 | Content area: Investment Adviser
One year after the Supreme Court ruled unanimously that the SEC can go back only five years after filing a legal action to retrieve ill-gotten gains, ...
5/17/2018 | Content area: Investment Adviser
The question came up recently: Could an adviser tape record SEC examiner interviews with staff?   “I understand why somebody would want to” tape exami...
5/17/2018 | Content area: Investment Adviser
After the offices of his private attorney were raided by authorities, President Trump stated that attorney-client privilege is dead in the U.S.   You’...
5/17/2018 | Content area: Investment Adviser
Thanks to the Financial Action Task Force’s 40 recommendations for how to attack anti-money laundering, you can find great similarities in the approac...
5/17/2018 | Content area: Investment Adviser
A “balanced approach” to initial coin offerings is being pursued by the SEC’s Division of Enforcement and across the Commission, reported Steven Peiki...
5/10/2018 | Content area: Investment Adviser
May 9's Federal Register contains the three SEC proposals tied to fiduciary duty. Each of them carries the same deadline for your comments: Tuesday, A...
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